DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Rsg Investments LLC

Independent wealth managerOverland Park, KansasCRD 323527SEC 801-132178websiteIAPD
Latest filing Mar 17, 2026
First filing on the tape Feb 12, 2025 · 3 filings
SEC status approved since Mar 13, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$20.1M
derived; firm RAUM over IAPD count
Employees
25
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$141M as of Mar 17, 2026
Feb 12, 2025$116M then
HNW client RAUM: $47.7M
State-registered IARs (5.B.3)6 as of Mar 17, 2026
Feb 12, 20255 then
Employees (5.A)25 as of Mar 17, 2026
Feb 12, 202519 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 5 to 6offices 2 to 3
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$20.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$124,141derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.6derivedItem 5.A over advisors
Advisors per office
1.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$92.2M66%
  • High-net-worth individuals$47.7M34%
  • Corporations and businesses$412,7100.3%
  • Pension and profit-sharing plans$199,6630.1%
Individual clients
532reported
HNW clients
21reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
1,132reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $19.7M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Samuel Kristoffer BassOverland Park, KsJan 24, 202317 y1
Alan Eugene BeckerOverland Park, KsJan 24, 202323 y2
Kristy Lynn EllerOverland Park, KsFeb 23, 202316 y5
Tatiana Mae McintyreOverland Park, KsAug 7, 202510 y0
Dylan Michael PollockOverland Park, KsOct 6, 202514 y1
Douglas C MillerOverland Park, KsAug 20, 202610 y2
Gaven Lee PinkleyOverland Park, KsSep 8, 202613 y1
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Eugene Alan Becker · Ceo, Presidentcontrol
      since 02/2013 · owns 75% or more
    • Floyd Robert Carver · Chief Operating Officer Offiercontrol
      since 03/2015 · owns less than 5%
    • Michelle Tanya Olvera · Chief Compliance Officer
      since 11/2025 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Overland Park, Ks · principal731
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • high employee count relative to advisorsStatic outlier · filing Mar 17, 2026
      employees per registered advisor of 3.6 against a peer median of 1.2 (1313 comparable advisers, 99.0th percentile, 8.0 robust deviations)
      peers: independent wealth managers, $100M to $500M (1,313) · 99% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,055 to 1,132
      Nov 20, 2025 to Mar 17, 2026
    • Advisory employees · 9 to 6
      Nov 20, 2025 to Mar 17, 2026
    • Corporate clients · 8 to 6
      Nov 20, 2025 to Mar 17, 2026
    • HNW clients · unset to 21.0
      Nov 20, 2025 to Mar 17, 2026
    • Individual clients · 512 to 532
      Nov 20, 2025 to Mar 17, 2026
    • Pension plan clients · 18 to 5
      Nov 20, 2025 to Mar 17, 2026
    • Employees · 19 to 25
      Nov 20, 2025 to Mar 17, 2026
    • State-registered IARs · 5 to 6
      Nov 20, 2025 to Mar 17, 2026
    • Discretionary RAUM · $116M to $141M
      Nov 20, 2025 to Mar 17, 2026
    • HNW RAUM · unset to 47735453.0
      Nov 20, 2025 to Mar 17, 2026
    • Individual RAUM · $115M to $92.2M
      Nov 20, 2025 to Mar 17, 2026
    • Pension RAUM · $744,463 to $199,663
      Nov 20, 2025 to Mar 17, 2026
    • RAUM · $116M to $141M
      Nov 20, 2025 to Mar 17, 2026
    • Wrap assets (manager) · $0 to $19.7M
      Nov 20, 2025 to Mar 17, 2026
    • Wrap assets (sponsor) · $1.2M to $0
      Nov 20, 2025 to Mar 17, 2026
    • Financial planning clients · 0 to 0
      Feb 12, 2025 to Nov 20, 2025
    • Other offices · 2 to 3
      Feb 12, 2025 to Nov 20, 2025
    Signals
    4 dated events
    • Jason A Lewis left Rsg Investments Llc for Umb Financial Services, Inc. (registered 2026-08-31)
      Jun 18, 2026 · Advisor changed firm · fact
    • Scott Michael Sheldon left Rsg Investments Llc for Vestgen Advisors, Llc (registered 2025-06-02)
      Apr 22, 2025 · Advisor changed firm · fact
    • Shane Alan Martin left Rsg Investments Llc for Creative Planning (registered 2025-01-15)
      Dec 11, 2024 · Advisor changed firm · fact
    • 3 advisors left AE Wealth Management, LLC (Kansas City, MO) for Rsg Investments LLC on the same day
      Sep 5, 2023 · Team lift-out · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    913-685-9422reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    913-685-9946reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    LINKEDIN.COM/COMPANY/RETIREMENTSOLUTIONSGROUPreportedpublic record, Form ADV, Sep 17, 2026
    Website
    rsginvests.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    9136859422reportedpublic record, Form ADV, Mar 17, 2026
    Team page
    rsginvests.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $20.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026